C&ORC SpecialistPosted: 1 month ago
writing policies / updating policies – private wealth management – financial services background**– or if they are from a broker dealer from a compliance or supervision role would be great – legal background can always work into compliance division –
5 years experience.
As a Compliance Analyst you will work within the Wealth Management Compliance & Operational Risk Control Team to engage with the business and address compliance and operational risk matters. To fulfill this responsibility you will strategically challenge Division Management, providing risk and conflicts analysis, regulatory context, and compliance-related education in an effort to positively influence risk decisions and promote a strong culture of Compliance in the field.
Essential Duties / Responsibilities:
• Engage with PWM Division Management team by serving as a subject matter expert for compliance matters and unique divisional requests.
• Assist with Heightened Supervision and Financial Distress reviews and processes.
• Help identify and/or address trends and areas of potential concern.
• Review and update relevant policies to ensure they reflect current regulatory requirements.
• Conduct compliance risk assessments.
• Identify, report and escalate compliance issues and control enhancements.
• Identify compliance and operational risk training needs, including location visits when required.
• Assist with preparations for regulatory exams and audits.
• Escalate regulatory concerns to Management and Legal.
• Attend to detail while maintaining a big picture orientation.
• Gather information, identify potential issues, and use independent judgment on a variety of compliance issues.
• Interpret and apply organizational policies and procedures, as well as securities regulations.
• Work under pressure to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Establish and maintain effective working relationships at all levels of the organization.
• Meet tight deadlines and have excellent time management skills.